calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in prospectus
) provide service in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in
In this Notification: The terms “credit rating”, “bill”, “short-term bill”, “registration statement”, “listed company”, “parent company”, “subsidiary”, “executive”, “controlling person”, “high net
needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
results Sort by: Relevance Date (Newest) Date (Oldest) SEC public warning of solicitation for investment in securities and digital tokens Following the tips from various sources to SEC, there have been
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